Compliance Manager - Broker-Dealer & IA, AI Governance

United States Digital Space LLC

United States Digital Space LLC is seeking a Compliance Manager, Broker-Dealer & Investment Adviser, to lead the operational engine of our retirement compliance program across RIA and BD entities. You will supervise governance of AI tools, drive exam readiness, and ensure the program remains defensible under SEC and FINRA scrutiny. This role requires hands-on execution, strategic oversight, and the ability to move between policy and practical implementation in a regulated financial services #J-18808-Ljbffr United States Digital Space LLC

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Vacancy posted 17 hours ago

Similar jobs that could be interesting for youBased on the Compliance Manager - Broker-Dealer & IA, AI Governance in Denver, NY vacancy

Compliance Manager, Broker-Dealer & Investment Adviser
$110.64k - $136.46k
...about our Total Rewards philosophy. AI is a fundamental part of how work gets... ...interview process. About the Role: The Compliance Manager, Broker-Dealer & Investment Adviser is an essential... ...compliance programs (including the governance of AI tools used across the compliance...
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Full time
Work at office
Local area
2 days per week
3 days per week
United States Digital Space LLC
Denver, NY
4 days ago

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